SHRF Awards Guide 2010: Section 1-5 - Policies and ProceduresNote: For ease of navigation, look for the "Table of Contents" link at the bottom of each section to bring you back here.
1. This GuideThis Awards Guide 2010 outlines the purposes, processes, terms, and conditions of Saskatchewan Health Research Foundation (SHRF) funding programs and SHRF partnership programs for 2010. SHRF funding programs are administered solely by SHRF. SHRF partnership programs are collaborations with other funding agencies that are intended to support health research in Saskatchewan and increase national funds coming to Saskatchewan. Any grants funded through partnership programs must fit SHRF’s mandate and align with the goals of the provincial Health Research Strategy; these grants may be administered by SHRF or the partnering agency. The 2010 Awards Guide applies to all existing and new recipients of grants and awards,and their host institutions, unless specifically amended or declared void by SHRF. This guide is revised annually and is distributed widely within the province’s health research community. It is also posted online at www.shrf.ca. All applicants and their host institutions are responsible for being aware of and complying with the requirements outlined in this guide. If you have any questions about the interpretation or application of any policies contained within this guide, please contact Trina Evitts, Funding Programs Manager, at 975-1686 or tevitts@shrf.ca. SHRF contact information: 253 - 111 Research Drive
Atrium Building, Innovation Place
Saskatoon, Saskatchewan
Canada S7N 3R2
Phone: 1-306-975-1680 (toll free: 1-800-975-1699, in Canada and the USA)
Fax: 1-306-975-1688
Web: www.shrf.ca
2. About SHRF2.1 MandateThe Saskatchewan Health Research Foundation (est. 2003) is the provincial health research granting agency and carries on the work of the Saskatchewan Health Research Board (1979-1992) and the Health Services Utilization and Research Commission (1992-2003). SHRF is accountable to the Minister of Health and is governed by a Board of Directors. SHRF’s vision is “Building a healthy Saskatchewan through health research.” The objectives of SHRF, as outlined in The Saskatchewan Health Research Foundation Act, 2002 are: to seek and receive funding from governmental and non-governmental sources for the advancement of research; to encourage and facilitate research into matters associated with the health sciences, the health-related social sciences, and other health related fields of study; to assist the Minister of Health to develop, implement and monitor a provincial strategy for research; to provide funding to persons and agencies who are conducting or proposing to conduct research projects that are consistent with the provincial strategy; and to disseminate information to members of health-related professions and to the public respecting the objectives of SHRF, the research that SHRF supports, the results of that research and conclusions drawn from that research. SHRF is committed to supporting excellent and ethical research and to managing public funds responsibly. SHRF takes many steps to report back to the public and to profile the work we are funding with public dollars, including constant development of our website, annual reports, electronic newsletters, and promotional activities including Health Research Week and our annual SHRF Santé Awards Dinner.
2.2 ScopeAll SHRF-funded research must have relevance for human health and is intended to support health research in Saskatchewan. SHRF defines human health research broadly as encompassing biomedical science, clinical research, health services and systems research, and research on the cultural, social, and environmental determinants of population health. SHRF funds only the research and closely related components of projects and does not fund any components that aim to develop or deliver health-care service programs. SHRF’s research funding programs are not intended to replace major funding from federal agencies such as the Canadian Institutes of Health Research (CIHR). Rather, they are aimed at stimulating and developing health research activity and capacity, thereby helping Saskatchewan researchers step onto the competitive national scene.
2.3 Provincial Health Research Priority AreasSHRF's funding programs continue to be aligned with the priority research areas outlined in the provincial Health Research Strategy (Saskatchewan Health, 2004). Accordingly, SHRF places increased emphasis on health research in the following areas: - Health needs of specific populations, with emphasis on Aboriginal people and seniors;
- Health systems and policy research, with emphasis on: health human resources; quality improvement; health service delivery in primary care and mental health; and rural and remote health service delivery;
- Determinants of health status, including early childhood development and the prevention and underlying causes of chronic and lifestyle-related disease (particularly diabetes, obesity and smoking);
- Public health including infectious disease, water safety, and food safety; and
- Synchrotron-based health research.
Funds in all SHRF programs are protected for research in priority areas (50% in some and 100% in others - see program descriptions for details).
2.4 Access to Information and Protection of PrivacySHRF is subject to provincial legislation on privacy and access to information, specifically The Local Authority Freedom of Information and Protection of Privacy Act. SHRF is committed to openness and transparency and also to protecting the private information and intellectual property of our researchers. A copy of our operational policy in this area is available from our office.
Application Process and Requirements3.1 Determining EligibilitySHRF determines eligibility of all applications. Applicants are strongly encouraged tocontact SHRF with any questions about eligibility prior to submitting an application.
3.2 PreparationFormatting requirements are outlined in the application form for each program. Go to www.shrf.ca, select Funding Programs, and then select Application Forms.
3.3 Pre- or Internal ReviewCollegial review prior to submission improves the quality of proposals. SHRF requires internal review for all New Investigator Establishment grants, and all Regional Partnership Program grants. SHRF encourages applicants to all other programs to have their applications pre-reviewed prior to submission with special consideration of the feasibility and quality of the research plan and the general organization and readability of the application. Research Services at your institution may offer assistance in this regard.
3.4 SignaturesAll application forms clearly indicate the required signatures. The original application must have original (pen-to-paper) signatures since the application constitutes a formal agreement, as indicated on the relevant application form.
3.5 Complete ApplicationsApplicants must provide all requested information. Applications may be declared ineligible if they are incomplete. Missing signatures, incomplete sections, and missing information all constitute an incomplete application.
3.6 Timely SubmissionApplications must be submitted by the deadline indicated in the relevant funding program description. Late applications will not be accepted.
3.7 ConfidentialityAll applications are submitted to SHRF in confidence with personal and proprietary information used only for the purposes for which it is originally gathered, plus related activities necessary to fulfill SHRF’s mandate.
4. Funding Process4.1 ScreeningSHRF undertakes an initial screening to evaluate the applicant’s eligibility and the application’s completeness. Applications that do not meet requirements outlined in Section 3 of this guide may be declared ineligible.
4.2 Peer ReviewApplications are assessed by panels of experts, who follow peer-review principles and Foundation-established criteria in identifying worthy applications. The panels or committees are constituted appropriately to suit the nature of applications under review, and include active health researchers, health professionals and other experts. Each committee is chaired by a respected researcher from a relevant field. New Investigator Establishment Grants are also evaluated by external reviewers selected for their expertise in the proposed field of study. In programs where SHRF is matching or partnering with other funding agencies, peer review may be done by the other agency, so long as SHRF’s requirements are met.
4.3 SHRF Peer Review CommitteesSHRF has developed Peer Review Committee Guidelines that committee members review and adhere to during review meetings. These Guidelines are available on the SHRF website (look under the Funding Programs tab, and select Peer Review). SHRF has four review committees: | Review Committee | Focus |
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| Biomedical Establishment Grants | Establishment applications in the biomedical sciences | | Biomedical Personnel Grants | Fellowship pplications in the biomedical sciences | | Socio-Health, Systems, and Clinical Grants and Awards | Establishment and Fellowship applications in socio-health, systems, and clinical areas | | Collaborative Grants and Awards | Health Research Group Applications, and Saskatchewan Research Chair applications |
4.4 CriteriaPeer reviewers use the following criteria for evaluating funding proposals: - importance and originality of the proposed research to its field;
- quality and feasibility of the research design, according to standards relevant to the field of study;
- suitability of the research environment;
- potential of the applicant(s) to carry out the work;
- general soundness of the overall research plan;
- appropriateness of the budget;
- adherence to principles of ethical research; and
- fit with the purpose and requirements of the funding program.
4.5 RatingSHRF is committed to excellence and will fund only proposals that achieve an overall committee rating of 3.5 or higher on the following 5-point scale: | 4.5 - 4.9 | Outstanding: highest funding priority | | 4.0 - 4.4 | Excellent: very high funding priority | | 3.5 - 3.9 | Very good: high priority; should be funded | | 3.0 - 3.4 | Good: acceptable, but low priority | | 2.5 - 2.9 | Fair: not acceptable for funding but shows promise | | < 2.0 - 2.4 | Poor: needs major revision |
4.6 Budget ReductionsSHRF review committees may recommend a grant budget reduction based on the fit between a proposed budget and proposed activities. By ensuring amounts recommended are consistent with the cost to undertake the proposed activities, peer reviewers maximize the use of funding. Reviewers will not reduce a salary award.
4.7 Funding RecommendationsPostdoctoral Fellowship and New Investigator Establishment applications are assigned to committees for review based on whether they are in the biomedical sciences, or related to socio-health, health systems, and clinical research. Criteria to allocate funding once applications have been assigned, reviewed, and rated are as follows: - Only applications rating 3.5 or higher will be eligible for funding;
- 50% of competition funds are reserved for research in priority areas;
- Funding will be allocated by score from highest to lowest (only if above 3.5) until funds for the competition are exhausted; and
- To ensure applicants have sufficient resources to complete their research as planned, SHRF will only fund whole grants as recommended by the review committee.
For Health Research Group grants, allocation criteria reward excellence while ensuring continuity across Phases of the program. Preference will be given to research in priority areas. Criteria to allocate funding once applications have been rated are as follows: - Only applications rating 3.5 or higher will be eligible for funding;
- The top rated application from each Phase will be funded (if 3.5 or higher);
- Remaining funds will be allocated by score from highest to lowest (if 3.5 or higher); and
- To ensure groups have sufficient resources to support planned group activities, SHRF will only fund whole grants as recommended by the review committee.
For Saskatchewan Research Chair awards, criteria to allocate funding once applications have been rated are as follows: - Only applications rating 3.5 or higher will be eligible for funding; and
- The top rated application from the competition for each chair will be funded (if over 3.5).
For Research Connections grants, criteria to allocate funding once applications have been rated are as follows: - Fit with purpose of program;
- Potential for capacity building and knowledge sharing; and
- Potential to promote SHRF programs and activities.
4.8 ApprovalsThe SHRF Board reviews the committee’s recommendations and, after ensuring that due process has been followed, approves funding for as many grants/awards as possible given available resources.
4.9 NotificationAll applicants are notified in writing of the outcome, along with feedback (anonymous)from the peer reviewers. SHRF does not provide competition results over the telephone. Successful applicants receive an Award Letter that outlines any outstanding terms and conditions of funding.
4.10 AcceptanceOnce an offer has been made, successful applicants must accept the grant or award in writing using the Notice of Acceptance form provided by SHRF, constituting an acceptance of the terms and conditions for funding. SHRF funds are not released until SHRF receives written acceptance and confirmation that all terms and conditions have been met. Start dates may be extended due to illness or family responsibility. Applicants should contact the Funding Programs Manager as soon as the need for a postponement to the start date is known.
4.11 OrientationNew grant and award holders will be invited to an orientation session in fall of each year, where SHRF staff present some information about SHRF, managing research funds, and general expectations. Recipients will also have an opportunity to ask questions of SHRF staff.
4.12 PromotionOnce the grant or award is accepted, photographs and project summaries (prepared with the recipient) are posted to SHRF’s website and often used in other promotional materials. In addition, grant and award recipients are introduced and showcased at the annual Santé Awards Dinner celebrating health research success in Saskatchewan.
4.13 Grant and Award LengthSome SHRF grantees may use a "grace period" of up to nine months following the originally approved grant term to complete their research if: - the grant is eligible for a grace period (see table below);
- there are funds remaining in the research account; and
- the grant's terms and conditions continue to be met.
Requests to extend some grants beyond the grace period will be considered if: - the grant is eligible for an extension (see table below);
- the request is provided in writing at least two (2) months before funds are due to expire (counting the grace period); and
- the request describes the reason for, and length of, the extension requested.
SHRF will consider requests for extensions due to professional or personal delays, including, but not exclusive to, unanticipated delays in data collection or purchasing of necessary equipment, parental responsibility, family responsibility or illness; these requests should be made in writing as early as possible after the need is known. | Program | Term | Grace Period | Extension |
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| New Investigator Establishment Grant | 2 years | Yes | Yes | | New Investigator Equipment Grant | 6 months | No | Yes | | Postdoctoral Research Fellowship Award | 2 years | No | No | | Health Research Group Grant - Phase I | Up to 2 years | Yes | Yes | | Health Research Group Grant - Phase II | 3 years | Yes | Yes | | Health Research Group Grant - Phase III | 3 years | Yes | Yes | | Saskatchewan Research Chair Award | 5 years | No | No |
5. Accountability5.1 SHRF Terms and ConditionsSHRF expects researchers to carry out their research responsibly and to make sound decisions on resource allocation. Researchers must operate in compliance with all applicable policies of their host institution that govern: - Management and conduct of research;
- The financial management of research;
- The management of research personnel and students involved in research; and
- Ethical, safety, and legal standards.
Where there is neither an existing SHRF policy nor an existing host-institutional policy, researchers are to seek, through their institution’s research administration, appropriate advice and/or a ruling from SHRF. Specific terms and conditions of SHRF funding are outlined in Award Letters to researchers and agreed upon by researchers in their Notice of Acceptance to SHRF. Funding is authorized yearly for SHRF grants and awards and Saskatchewan Research Chairs. Based on researchers’ annual reports to SHRF and annual financial reports from host institutions, SHRF ensures that terms and conditions continue to be met before a subsequent year of funding is authorized. These monitoring and authorization procedures apply to all existing and new SHRF grants and awards. 5.2 Releasing FundsOnce any outstanding terms and conditions have been met, SHRF sends an Authorization for Funding Form (AFF) to the host institution, where the funds will be held and managed in a separate research fund, according to accepted accounting practices for research funds. SHRF pays most research funds to the host institution on a monthly basis, except for Regional Partnership Program grants/awards and Partnerships for Health System Improvement (PHSI) grants, which are paid quarterly.
5.3 Fund ManagementResearch and financial offices at host institutions are responsible for managing the research funds, ensuring timely flow of funds to researchers, and ensuring that expenditures from grants and awards stay within approved budgets and SHRF guidelines for the program. Researchers are responsible for providing documentation to Financial Services at their institution so that annual and final statements may be prepared for SHRF on a timely basis.
5.4 ExpendituresSHRF grants and awards may be used only for expenses incurred during the term of the award. In particular: - funds may not be spent or encumbered prior to the commencement of the grant or award, reflected in the start date identified on SHRF’s AFF;
- SHRF is not liable for expenditures beyond authorized amounts;
- funds are intended to support health research in Saskatchewan;
- SHRF does not pay for overhead or administration of research funding;
- equipment purchased with grant funds becomes the property of the host institution; and
- funds not spent or encumbered by a project’s conclusion will automatically revert to SHRF.
5.5 Budget ChangesResearch funds are to be spent according to budgets approved during the review and decision process (see individual program descriptions for eligible expenses). Occasionally, it may be necessary to reallocate grant funds between approved categories if the needs or circumstances of the research project have changed. Grant holders need SHRF approval for such reallocations only if: - the change involves 5% or more of the grant’s total; or
- the change is intended for the purchase of equipment valued at $2,500 or more.
5.6 Reporting to SHRFResearchers are to provide annual and final reports to SHRF (reminders are sent to researchers one month prior to the anniversary of their funding start date). Continued funding depends on submission of satisfactory annual reports. A satisfactory annual report is one that is provided by the anniversary of a grant or award’s start date, confirms the terms and conditions of funding continue to be met (including continuing eligibility), and describes any changes in timelines or objectives for the next year. Financial reports (Statement of Accounts) are prepared by the host institution’s Financial Services on an annual basis, and when the research has been completed. Researchers must review and sign all Statement of Accounts before they are forwarded to SHRF.
5.7 Resolution of Issues of Non-ComplianceSHRF reserves the right to stop funding at anytime if it determines that researchers are in breach of terms and conditions of funding, as outlined in the Notice of Acceptance signed by the grant/award holder. Examples of a breach include, but are not limited to: - Changes in eligibility to hold funds or conduct research;
- Failure to provide satisfactory annual reports (see 5.6, above); and/or
- Substantial under-spending and/or researcher inactivity not related to parental leave or illness. For SHRF grants of $100,000/year or more, SHRF will take action if 25% of a yearly budget is carried over to the next grant year. This includes contacting the grant or award holder to explore the matter and, if warranted, taking appropriate financial action (see below).
Financial actions that may be taken if a grant or award holder is determined by SHRF to be in breach of terms and conditions include: stopping payments temporarily or permanently; stopping access to the research fund; and/or rescinding all or part of the grant or award. 5.8 Acknowledgement of SHRF FundingResearchers should acknowledge SHRF support in all resulting publications, abstracts, posters, presentations, other dissemination avenues, and applications of their research.
5.9 Sharing Health ResearchEnsuring that research leads to benefits for health, the health system, and society is important. SHRF strongly encourages our researchers to share their work with relevant communities of interest, to publish in high quality journals and to present their findings at conferences. This will ensure that their research is in the public domain, available and accessible for addressing challenging health issues. SHRF encourages all funding recipients to make their research findings publicly available, including publishing in open access forums and other public scholarly venues.
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